Jose T. Bautista
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jose Tajonera Bautista, who also goes by Joe Bautista, Joey Bautista, Jose T Bautista, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1975. Jose had worked at 15 firms and has passed the SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2010 - June 10, 2016
AMERICAN INVESTORS COMPANY
May 4, 2010 - June 10, 2016
AMERICAN INVESTORS COMPANY
February 10, 2010 - May 3, 2010
GLOBAL ASSET MANAGEMENT GROUP
November 13, 2006 - October 15, 2009
FINANCIAL LEADERSHIP ADVISORS, INC.
September 22, 2006 - November 10, 2006
WORLD EQUITY GROUP, INC.
August 30, 2006 - September 11, 2009
WORLD EQUITY GROUP, INC.
January 4, 2006 - July 24, 2006
OSAIC SERVICES, INC.
April 12, 2002 - May 5, 2003
WORLD GROUP SECURITIES, INC.
May 17, 1994 - April 12, 2002
WMA SECURITIES, INC.
February 7, 1992 - September 9, 1993
ADVISORY FINANCIAL CONSULTANTS, INC.
November 21, 1988 - November 14, 1991
PROTECTED INVESTORS OF AMERICA
November 3, 1988 - December 17, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
April 1, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
September 25, 1980 - April 4, 1988
JUDY & ROBINSON SECURITIES, INC
March 22, 1978 - November 22, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
May 18, 1976 - July 1, 1976
SOUTHMARK FINANCIAL SERVICES, INC.
February 7, 1975 - April 22, 1976
PUTNAM FUND DISTRIBUTORS, INC.
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/3/1975
Registered Representative ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
